SEC Form 4 · accession 0000018230-19-000116
CATERPILLAR INC · CAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Denise C Johnson
Officer — Group President
Period of report
Mar 8, 2019
Accepted (ET)
Mar 12, 2019 · 4:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000018230
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF2,F1,F3 | — | Mar 8, 2019 | A | 448 | A | — | — | Common Stock | 448 | 8,040 | D |
| Phantom Stock UnitsF4,F1,F3 | — | Mar 11, 2019 | A | 4,535 | A | — | — | Common Stock | 4,535 | 12,575 | D |
Explanation of responses
- F1Each Phantom Stock unit is the economic equivalent of one share of Caterpillar Inc. common stock.
- F2The Phantom Stock units were contributed to the reporting person pursuant to the terms of the Caterpillar Inc. Supplemental Deferred Compensation Plan ( the "Plan") for no consideration.
- F3The Phantom Stock units were acquired under the Plan and are to be settled 100% in cash upon the reporting person's retirement or separation from service.
- F4This total includes 3,779 shares that were credited to the reporting person's account under the Plan at a price per share of $133.11 and 756 shares that were contributed to the reporting person's account pursuant to the terms of the Plan for no consideration.